Adviser Profile

As of Date 10/02/2025
Registration status Terminated
ADV Location NEWPORT BEACH, CA, United States
Contact Info 800 xxxxxxx
Websites
AUM* 437,700,139
of that, discretionary 389,427,447
Number of Employees 7 -13%
of those in investment advisory functions 6 -14%
Private Fund GAV* 0 -100%
Avg Account Size 393,262
% High Net Worth 18.76%
SMA’s Yes
Private Funds 0 1

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Pension and profit sharing plans
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Pension consulting services
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees

Reported AUM

422M 361M 301M 241M 181M 120M 60M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025
Discretionary
Non-discretionary

Private Funds

Employees

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Brochure Summary